Our Staff has compiled our research into a database of FINRA Broker Disclosures for Rockefeller Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Jack Steven Mutchnik | 6494351 | 1 | 07/24/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samuel Reid Campbell | 6739686 | 1 | 10/06/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Joseph Sassen | 5805927 | 1 | 01/20/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Paul Marques Fernandes | 6432856 | 1 | 12/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Miles M Mason | 4930256 | 1 | 09/18/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Clinton Calvert | 4617779 | 1 | 02/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric B Hermanson | 5068884 | 2 | 07/14/1992 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jon Carl Ohrn | 4856247 | 1 | 02/14/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |